News Update

Paul Falcon, a financial consultant registered with Aegis Capital Corporation in Boca Raton, Florida, and previously registered with Global Strategic

On 11/20/17, Investmentnews.com reported that a retired Morgan Stanley representative was fined for unsuitable investment advice. FINRA fined Timothy Thomas

Leon Rehak, a financial consultant with LPL Financial in Pompano Beach, Florida, and previously with Raymond James & Associates, has

The New Jersey Bureau of Securities has fined LPL Financial almost $1 million for unsuitable REIT and BDC sales. According

ThinkAdvisor.com reported on 10/20/17 that Massachusetts securities regulators charged a Waltham, Mass. based investment advisor and his firm with allegations